23.4.1 Procedures for Reporting Misconduct

23.4.1.1  A report of misconduct may be made to a person who is a supervisor of the suspected person or a contact point listed below. Supervisors include the following people:

  • When an employee is subject to the whistleblowing: A senior employee in the employee's office or department;
  • When a student is subject to the whistleblowing: The student's academic supervisor or the Dean of the Graduate School; and
  • When a faculty member is subject to the whistleblowing: the Dean of Faculty Affairs.

Table 1: Contact points of report of misconduct

Case
Category

Contact PointsContact Points
Internal External
(PRP23.4.2)
Non-compliance

COO
Compliance Section Manager

Misconduct Report Hotline

(PRP23.4.3)
Public research fund misuse

Dean of Research
​Research Finance Manager

Misuse of open-recruitment type research funding may also be reported to the Grants and Research Collaboration Section Manager or the Business Development Section Manager.

(PRP23.4.4)
Misconduct in research activities

Dean of Faculty Affairs

* Conflicts of interest may be reported to the COO or the Compliance Section Manager, and Harassment and Personnel Dispute may be reported to the AVPHR or the RWAH Hotline.

23.4.1.1.1  Whistleblowers may report suspected misconduct to the listed contact points by email, in writing or by phone. It is recommended to use the Whistleblower Report as much as possible in order to promptly implement the investigation.

23.4.1.1.2  As a basic rule, a report shall be made by identifying the name of the whistleblower, and only a report that describes details of the case, such as who has committed the suspected misconduct, what kind of misconduct is committed, and a rational ground, will be officially received.

23.4.1.1.3  Notwithstanding 23.4.1.1.2, whistleblowers may report suspected misconduct anonymously by email, in writing or by phone through the University's Misconduct Report Hotline above. The hotline is taken care of by an external entity in order to maintain confidentiality. The University will handle any anonymous report received by the Hotline in accordance with the equivalent procedures for reports made by identified whistleblowers, taking account of the contents of the case.

23.4.1.1.4  When a contact point has received a report concerning significant misconduct, it shall promptly notify thereof to the COO, the Dean of Research or the Dean of Faculty Affairs..

23.4.1.1.5  When the contact point finds that the University is not an entity to conduct investigation of the reported case, it will forward the report to an entity that is the investigatory organization. The University will handle any report of suspected misconduct being forwarded from another entity deeming that the report has been made to the University. Also, in the case of the University finds that there is another entity that is in charge of the investigation besides the University, it notifies said another entity of the report.

23.4.1.1.6  When a contact point has received a report and the fact as to whether or not it has officially received the report cannot be known by the whistleblower, it notifies the whistleblower that it has officially received the report (excluding anonymous reports; however,  if the whistleblower is identified before issuance of an investigation report, the whistleblower is treated as an identified whistleblower; the same applies hereinafter).

23.4.1.1.7  When a consultation contains such a description that misconduct is about to occur or a person is asked to commit misconduct, the contact point notifies the COO, the Dean of Research or the Dean of Faculty Affairs.

23.4.1.2  When an illegal activity violating the Act on the Protection of Personal Information Held by Incorporated Administrative Agencies, Etc. has taken place or is about to take place, a report may also be submitted in writing to the Okinawa Institute of Science and Technology Graduate University Project Office, Okinawa Development and Promotion Bureau of the Cabinet Office.

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